-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WBGAEZQlZ4M/Qkysixgy5AmhA9HYlQJ/PeX+D8QKPR7Rmtviq9lxjuM3mk2J8owI dXK5hR1A3iAn3XOGNZk2Mw== 0001108426-02-000042.txt : 20020814 0001108426-02-000042.hdr.sgml : 20020814 20020814174539 ACCESSION NUMBER: 0001108426-02-000042 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020814 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20020814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PNM RESOURCES CENTRAL INDEX KEY: 0001108426 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 850468296 STATE OF INCORPORATION: NM FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 333-32170 FILM NUMBER: 02737288 BUSINESS ADDRESS: STREET 1: ALVARADO SQUARE STREET 2: NEW MEXICO CITY: ALBUQUERQUE STATE: NM ZIP: 87158 BUSINESS PHONE: 5052412700 MAIL ADDRESS: STREET 1: ALVARADO SQUARE CITY: ALBUQUERQUE STATE: NM ZIP: 87158 FORMER COMPANY: FORMER CONFORMED NAME: MANZANO CORP DATE OF NAME CHANGE: 20000303 8-K 1 f8k_08142002pnmr.txt SWORM STMTS REGARDING FACTS AND CIRCUMSTANCES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest events reported) August 14, 2002 -------------------------- August 14, 2002 -------------------------- PNM RESOURCES, INC. ------------------- (Exact name of registrant as specified in its charter) New Mexico 85-0468296 - ---------------------------- Commission ---------------------- (State or Other Jurisdiction File Number 333-32170 (I.R.S. Employer of Incorporation) --------- Identification) Number) Alvarado Square, Albuquerque, New Mexico 87158 - ---------------------------------------- ----- (Address of principal executive offices) (Zip Code) (505) 241-2700 -------------- (Registrant's telephone number, including area code) ------------------------------ (Former name, former address and former fiscal year, if changed since last report) Item 5. Other Events Pursuant to the order issued by the Commission on June 27, 2002, Jeffry E. Sterba, Chairman, Chief Executive Officer and President of PNM Resources, Inc. (the Company) and Max H. Maerki, Senior Vice President and Chief Financial Officer of the Company, filed their sworn statements regarding facts and circumstances relating to exchange act filings with the Commission on August 14, 2002. These sworn statements of Mr. Sterba and Mr. Maerki are filed herein as exhibits 99.1 and 99.2, respectively. Item 7. Financial Statements, Pro Forma Financial Information and Exhibits (c) Exhibits 99.1 Jeffry E. Sterba, Chairman, Chief Executive Officer and President of PNM Resources, Inc., statement under oath of principal executive officer regarding facts and circumstances relating to exchange act filings. 99.2 Max H. Maerki, Senior Vice President and Chief Financial Officer of the Company, statement under oath of principal financial officer regarding facts and circumstances relating to exchange act filings. 2 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. PNM RESOURCES, INC. --------------------------------------------- (Registrant) Date: August 14, 2002 /s/ John R. Loyack --------------------------------------------- John R. Loyack Vice President and Chief Accounting Officer (Officer duly authorized to sign this report) 3 EX-99 3 exh991_08142002.txt EXH 99.1 PRINCIPAL EXEC. OFFICER STMT. UNDER OATH EXHIBIT 99.1 August 14, 2002 Jonathan G. Katz, Secretary Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549 STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER AND PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS Dear Mr. Katz: I, Jeffry E. Sterba, Chairman, President and Chief Executive Officer, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of PNM Resources, Inc. ("PNM Resources"), and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (2) I have reviewed the contents of this statement with PNM Resources Audit and Ethics Committee of the PNM Resources' Board of Directors. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o Annual Report on Form 10-K for the Year Ended December 31, 2001 of PNM Resources. o All reports on Form 10-Q, all reports on Form 8-K and all definite proxy materials of PNM Resources filed with the Commission subsequent to the filing of the Form 10-K identified above. o Any amendments to any of the foregoing. /s/ Jeffry E. Sterba - ---------------------------------- Jeffry E. Sterba, Chairman, President and Chief Executive Officer PNM Resources, Inc. August 14, 2002 Subscribed and sworn to before me this 14th day of August 2002. /s/ Pamela Ragsdale ------------------------- Pamela Ragsdale Notary Public May 31, 2006 ------------------------- Commission Expires EX-99 4 exh992_08142002.txt EXH 99.2 PRINCIPAL FIN. OFFICER STMT. UNDER OATH EXHIBIT 99.2 August 14, 2002 Jonathan G. Katz, Secretary Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549 STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER AND PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS Dear Mr. Katz: I, Max H. Maerki, Senior Vice President and Chief Financial Officer, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of PNM Resources, Inc. ("PNM Resources"), and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (2) I have reviewed the contents of this statement with PNM Resources Audit and Ethics Committee of the PNM Resources' Board of Directors. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o Annual Report on Form 10-K for the Year Ended December 31, 2001 of PNM Resources o All reports on Form 10-Q, all reports on Form 8-K and all definite proxy materials of PNM Resources filed with the Commission subsequent to the filing of the Form 10-K identified above. o Any amendments to any of the foregoing. /s/ Max H. Maerki - ------------------------------ Max H. Maerki, Senior Vice President and Chief Financial Officer PNM Resources, Inc. August 14, 2002 Subscribed and sworn to before me this 14th day of August 2002. /s/ Pamela Ragsdale ------------------------- Pamela Ragsdale Notary Public May 31, 2006 ------------------------- Commission Expires -----END PRIVACY-ENHANCED MESSAGE-----